29,375 results found

Representative settles FINRA charges for registration form filing deficiencies. FTC seeks comment on draft of 2022-2026 strategic plan.

A discussion on the role of decimalization and other market structure changes in the decline of smaller company IPOs.

On February 25, Morgan Stanley disclosed that it had reached an agreement in principle with the SEC staff to pay $275 million in disgorgement and penalties.

On October 16, Justice Eileen Bransten of the Supreme Court for the State of New York dismissed a suit by FSA Asset Management LLC (FSAM) and Dexia SA/NV (with two related entities, Dexia) alleging fraud by Morgan Stanley in connection with the sale of $626 million in RMBS.

A mortgage loan servicer agreed to pay a $100,000 fine to settle charges, brought by the New York State Department of Financial Services ("NYDFS") for failure to register ...

As Generative AI continues to be incorporated by financial organizations of all sizes, the baking industry has felt a seismic shift in how risk management and regulatory compliance are managed.

The North American Securities Administrators Association ("NASAA") waived Investment Adviser Registration Depository ("IARD") system fees for investment adviser firms.

The Nasdaq Private Markets Alternatives platform will connect buyers and sellers through a fully automated auction-based technology supported by institutional buyers.

The size of the NAV loan market currently measures around $100 billion and is poised to grow to $700 billion by 2030, according to an estimate from 17Capital cited in a Bloomberg article this week.

The U.S. distressed commercial real estate market faces mounting pressure from high interest rates, overleveraging, and an approaching wave of loan maturities. Real estate experts explore why conditions in multifamily, office, and hotel assets may be worse than widely reported, and outline practical strategies for borrowers to protect their interests in an increasingly challenging refinancing environment.

Now that the US election has passed, industry leaders will need to understand the policy priorities for the Biden Administration and 117th Congress.

The National Credit Union Administration, acting as liquidating agent for five failed credit unions, sued Deutsche Bank National Trust Company (DBNTC) for allegedly breaching its duties as trustee under the governing trust agreements for 121 RMBS trusts with a total original face value of approximately $140 billion.

On March 20, the National Credit Union Administration Board, acting as liquidating agent for five failed credit unions, filed suit against HSBC USA in the Eastern District Court of Virginia.

On September 23, the National Credit Union Administration, filed nine separate suits in the federal district court for the Southern District of New York against several investment banks for a total of $2.4 billion.

On December 22, National Credit Union Administration sued Wells Fargo, as an RMBS trustee, in the United States District Court for the Southern District of New York.

After months of playing hard-to-get with industry advocates, the CFPB's Director Richard Cordray put out a statement that the CFPB is proposing to delay the effective date of the TILA-RESPA Integrated Disclosure.

Why am I bringing this up again? Because the filing deadline has moved from June 30th to April 15th.